Head of Broker Dealer Compliance, Americas and Chief Compliance Officer (VN2908)
$290,000–$335,000 year
On-siteNew York City, New York, United States or New York, United States
Job Summary
Lead and develop the Americas Broker Dealer Compliance team, overseeing talent management, performance, training, and succession planning. Serve as the primary Compliance advisor to U.S. Broker Dealer businesses, providing real-time guidance across Equities, Fixed Income, and Listed Options trading activities. Partner with business leaders to deliver proactive, risk-based compliance advice and support strategic initiatives. Oversee the firm's Broker Dealer compliance framework, ensuring adherence to SEC, FINRA, OCC, and exchange requirements. Direct oversight of key programs including trade surveillance, regulatory reporting, employee compliance, and registration activities. Ensure timely completion of regulatory examinations, inquiries, assessments, governance reviews, and reporting obligations. Maintain and enhance policies, procedures, and Written Supervisory Procedures to address evolving regulatory needs. Promote a strong culture of compliance, risk awareness, integrity, and ethical conduct while supporting the firm's operational risk management framework.
Required Qualifications
- 10+ years of Broker Dealer Compliance experience
- deep expertise in U.S. securities regulations
- knowledge of SEC regulations
- knowledge of FINRA regulations
- knowledge of OCC regulations
- knowledge of self-regulatory organizations
- knowledge of applicable exchanges
- Proven leadership experience
- ability to build, develop, and motivate high-performing teams
- Strong regulatory judgment
- ability to analyze complex issues
- ability to assess risk
- ability to deliver practical, business-focused solutions
- Exceptional communication skills
- stakeholder management skills
- ability to influence senior management
- ability to influence front-office leaders
- Proven ability to make complex compliance decisions
- ability to support complex compliance decisions
- ability to defend complex compliance decisions
- ability to operate in a fast-paced environment
- ability to operate in a highly regulated environment
- Strategic mindset
- Proactive mindset
- Intellectual curiosity
- ability to anticipate emerging risks
- ability to anticipate regulatory developments
- Collaborative mindset
- relationship-oriented mindset
- demonstrated success working across functions
- demonstrated success working across geographies
- demonstrated success working across levels of the organization
- High degree of integrity
- High degree of professionalism
- High degree of resilience
- High degree of accountability
- ability to manage multiple priorities
- ability to deliver results under pressure
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